Registered Client Service Associate

TalentWealth; Owensboro (KY); On-site; USD 42,000 - 54,000; Full time

Job summary

TalentWealth is seeking an experienced Client Services Associate for a premier independent wealth management firm in Owensboro, KY. Under general supervision, you will support financial advisors, handle client inquiries, process documentation, and assist with data entry into planning software, and prepare letters and reports to maintain accounts.

Strong communication and organizational skills are essential; FINRA licenses are preferred and the role offers meaningful client impact in a growing

Qualifications

• Investment concepts and practices used in the securities industry.
• Financial markets and products knowledge.
• Operating standard office equipment and required software to produce docs.
• Analyzing client/account information for research.
• Manage multiple tasks with changing priorities in a fast-paced environment.
• Provide high level of customer service with professionalism.

Responsibilities

• Interacts daily on the phone and in person with prospective and existing clients, handling inquiries and providing quotes.
• Solicits and receives orders from the Financial Advisor.
• May enter unsolicited trades at the direction of the Financial Advisor.
• Researches client and security information through the back office system.
• Assist with data gathering and data entry into financial planning software.
• Processes and follows up on client documentation for proper account maintenance.
• Prepares letters, forms, and spreadsheets to assist with servicing existing and prospecting new clients.
• Maintains records and files and ensures paperwork is current with firm and regulatory requirements.
• Maintains databases and creates reports using portfolio software programs.

Skills

Customer service

Communication

Organization

Multitasking

Problem solving

Professionalism

Attention to detail

Education

FINRA Series 7 & 66

Job description

At TalentWealth Recruiting, we partner with premier independent wealth management firms across the country to connect exceptional professionals with outstanding career opportunities.

Our client, an established and highly respected independent wealth management firm located in Owensboro, KY manages more than $450 million in client assets and is seeking an experienced Client Services Associate to join its growing team.

Job Summary:

Under general supervision, uses advanced skills gained through training and experience to provide proactive support to financial advisors and assist with efficient, quality client service. Follows established procedures to perform routine tasks and receives general guidance and direction to perform other work with substantial variety and complexity requiring limited decision-making responsibility. Extensive contact with clients to resolve most questions and problems and refer new or unusual issues to a higher level.

Essential Duties and Responsibilities:

• Interacts daily on the phone and in person with prospective and existing clients including handling basic inquiries and providing quotes.


• Solicits and receives orders from the Financial Advisor.


• May enter unsolicited trades at the direction of the Financial Advisor.


• Researches client and security information through the back office system.


• Assist with data gathering and data entry into financial planning software


• Processes and follows up on client documentation for proper maintenance of accounts.


• Prepares letters, forms, and spreadsheets to assist with servicing existing clients and prospecting new clients.


• Creates and maintains records and files.


• Ensures required client paperwork is current with firm and industry requirements, rules, and regulations.


• Maintains databases and creates reports using portfolio software programs.


• Receives and processes securities.


• Participates in and receives cross-training, as well as assists with other operational functions as required.


• Performs other duties and responsibilities as assigned.

Qualifications:

• Company’s working structure, policies, mission, and strategies.


• General office practices, procedures, and methods.


• Investment concepts, practices, and procedures used in the securities industry.


• Financial markets and products.


• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.


• Analyzing to be able to research account information.


• Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.


• Handle stressful situations and provide a high level of customer service in a calm and professional manner.


• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.


• Use mathematics sufficient to process account and transaction information.


• Work independently.


• Provide a high level of customer service.

Educational/License Requirements

• FINRA series 7 & 66 preferred

~or~

• An equivalent combination of experience and education in financial services